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Attachment A 



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DEPARTMENT OF THE NAVY 

HEADQUARTERS UNITED STATES MARINE CORPS 

2 NAVY ANNEX 

WASHINGTON, DC 20380-1775 



MCO P1610.7E 
MMSB-3 
3 Dec 98 



MARINE CORPS ORDER P1610.7E W/ERRATUM AND CH 1-9 

From: Commandant of the Marine Corps 
To: Distribution List 

Subj : PERFORMANCE EVALUATION SYSTEM (SHORT TITLE: PES) 

Ref: (a) U.S. Navy Reg. 1990, art. 1129 
(b) MARCORMAN, par 2500.3 

End: (1) LOCATOR SHEET 

Report Required: USMC Fitness Report (Report Symbol EXEMPT), par. 1001 

1. Purpose . To publish the policies, procedures, and standards for the 
operation and maintenance of the Marine Corps Performance Evaluation System, 
and the submission of fitness reports on sergeants through major generals as 
required by references (a) and (b) . 

2. Cancellation . MCO P1610.7D. 

3. Background 

a. The fitness report provides the primary means for evaluating a 
Marine's performance to support the Commandant's efforts to select the best 
qualified personnel for promotion, augmentation, resident schooling, command, 
and duty assignments. The completion of fitness reports is a critical 
responsibility. Inherent in this duty is the commitment of our commanders 
and all reporting officials to ensure the integrity of the system by giving 
close attention to accurate marking and timely reporting. Every commander 
and reporting official must ensure the scrupulous maintenance of this 
evaluation system. Inaccurate marking only serves to dilute the actual value 
of each report . 

b. The Performance Evaluation System (PES) has changed completely, 
creating a new paradigm requiring an entirely new approach to performance 
reporting. All commanders, reporting officials, and Marines reported on 
(MROs) must completely familiarize themselves and comply with the significant 

policy changes contained herein. 

DISTRIBUTION STATEMENT A: Approved for public release; distribution is 
unlimited. 



Case 1 :05-cv-01 651 -GK Document 42-4 Filed 07/25/2006 Page 3 of 28 

MCO P1610.7E 
3 Dec 98 

4. Effective Date. 1 January 1999. 

5. Summar y of Revisions . This Manual not only represents a new Performance 
Evaluation System but also significant policy and administrative changes that 
require a complete review. 

a. Fitness Report Form 

(1) Section A, ADMINISTRATIVE INFORMATION: Contains basic 
administrative information. If available, the automated system downloads 
much of the data from the Marine Corps Total Force System (MCTFS) and 
populates the appropriate block in the section. 

(2) Section B, BILLET DESCRIPTION: Focuses on the essential 
elements of the MRO's billet in specific and concise terms. The Reporting 
Senior (RS) and the MRO must meet at the beginning of the reporting 
relationship to establish and formalize a billet description for the MRO. 

(3) Section C, BILLET ACCOMPLISHMENTS: Highlights the MRO's 
significant results and achievements during the reporting period. 

(4) Sections D through G comprise 4 categories consisting of 13 
attributes with definitions and descriptors called Performance Anchored 
Rating Scales (PARS) that completely define the attribute and levels of 
performance. The PARS contain: 

(a) Visible marking gradients that recognize the inherent high 
quality of our Marines and focus the RS's attention while assigning marks. 

(b) Built in fire walls to protect against inflation. High and 
adverse marks must include verifiable, substantive, and quantifiable {where 
possible) justifications. This Headquarters reviews and returns reports with 
unjustified marks. 

(5) Section H measures the extent to which an officer, as a 
reporting official, conducted or required others to conduct accurate and 
timely evaluations. 

(6) Restricted space and requirement for narrative comments cause 
the reporting senior (RS) to focus attention on actual performance. 

(a) Comments must be in a bulletized text format. 

(b) Use of UPPERCASE, underlining , "quotation marks," boldface, 
italics, and nonstandard punctuation (#!&%?...) in exclamation are not- 
authorized. 

(7) Section K, REVIEWING OFFICER COMMENTS, formalizes the Reviewing 
Officer's (RO's) role. The RO must: 



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MCO P1610.7E 

(a) Take corrective action to prevent inaccurate reporting and 
late submission of reports. 

(b) If sufficient observation exists, make a comparative 
assessment evaluation of all Marines of the MRO's grade whose professional 
abilities are known to the RO and make comments concerning the MRO's 
potential. 

(8) Intra-unit comparative markings are eliminated. 

(9) Maximum use of automation capabilities enhance PES procedures, 
processes, and accountability. 

b. Reporting Senior Profile 

(1) The RS profile, a snapshot of the RS's grading history, reflects 
all reports written by the RS for each grade and includes all reporting 
occasions except academic, end of service, and not observed reports. 

(2) Data base maintains a profile for each RS reflecting his or her 
rating history. 

(3) The RS's reporting history for a particular grade determines the 
relative value of a specific report. 

(4) The RS profile also reflects the number of reports submitted 
late by the RS. The profile highlights reports received after 60 days from 
the end of the reporting period. 

(5) Reporting senior profiles will not be reset. 

c. Procedures and Policies 

(1) MRO Worksheet initiated to establish a clear understanding 
between the RS and MRO of the RS's expectations. The MRO may use the 
worksheet to identify (at the end of the reporting period) , major 
accomplishments, PME/self education endeavors and other information for 
consideration by the RS. 

(2) Master Brief Sheets include a summary for each report reflecting 
the relative value of the report based on the RS's reporting history for that 
grade . 

(3) Upon entering the primary promotion zone, an officer's RS 
profile is included in his or her Official Military Personnel File (OMPF) 
provided to the promotion board. 

(4) Unit Diary date gap notification advisories implemented for 
Active and Reserve reporting units. 

(5) Increased emphasis on the role of the senior enlisted advisors 
to accomplish the objectives of the PES. 



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MCO P1610.7K 

(6) Civilians in the grade of GS- 9 /equivalent or above, may be 
reporting officials if senior to the MRO. 

(7) Submission of fully observed reports required for academic and 
training duty lasting 90 or more days, detailing all aspects of a Marine's 
performance, potential, and professional character, as appropriate. 

(8) Requirement to report body fat percentage when the MRO's 
reported weight exceeds the maximum allowable standard. A body fat 
percentage exceeding the standard has adverse implications. 

(9) Any assignment to either the Weight Control or Military 
Appearance Programs must be reported and is considered adverse. 

(10) Any failure of a scheduled PFT during the reporting period must 
be reported and is considered adverse. 

(11) Instructions on reporting procedures established for reservists 
performing Active Duty Special Work (ADSW) orders. 

(12) New occasion code "Change of Status (CS) " created for members 
of the Selected Marine Corps Reserve who transfer to the Individual Ready 
Reserve (IRR) or when IRR members complete an ADSW assignment lasting 31 days 
or longer. 

(13) New occasion code "From Temporary Duty (FD)" created to 
recognize the termination of temporary duty or ADSW orders lasting 31 days or 
longer. 

(14) Option to omit End of Service (EN) fitness report for Marines 
retiring or transferring to the Fleet Marine Corps Reserve (FMCR) , unless 
adverse . 

(15) Requirement to forward reports prepared within an operational 
battalion or squadron via the unit's command element. 

(16) Revised annual fitness report submission schedule supports 
promotion board schedules. 

(17) A gap of 31 days or longer constitutes a date gap in 
performance records. 

(18) Requirement to report all disciplinary action via a DC report. 

(19) Reporting requirements for drug offenses and alcohol related 
issues redefined. 

(20) Reporting requirements for Marines in a UA or deserter status 
redefined. 

(21) Facsimile (FAX) instructions and policy defined. 

4 



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MCO P1610.7E 

(22) Policy compliance measures established for early identification 
of, and initiation of corrective action for, reporting officials displaying 
undesirable reporting trends. 

6. Recomm endations . Submit recommendations concerning the Performance 
Evaluation System to the Commandant of the Marine Corps (MMSB-30) via the 
chain of command. 

7. Action, Commanders must ensure that they, all reporting officials, and 
Marines (sergeant and above) under them are well versed in the spirit and 
intent of this Manual . 



8. Certification . Reviewed and approved t 




DISTRIBUTION: PCN 10202100000 

Copy to: 7000130 (75) 
7000110 (75) 
7000093/8145001 (2) 
7000099, 144/8145005 (1) 



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PERFORMANCE EVALUATION SYSTEM 

CHAPTER 1 

CONCEPTS AND OVERVIEW 

1001. SCOPE 

1. The Marine Corps Performance Evaluation System (PES) provides for the 
periodic reporting, recording, and analysis of the performance and 
professional character of Marines in the grades of sergeant through major 
general. Its fundamental concepts are accuracy, accountability, simplicity, 
and consistency of policy and evaluation methods. Achieving these concepts 
requires standardization of the evaluation chain, supervision throughout the 
system, and the education of all participants in the system. Reporting 
seniors document their observations and assessment of the performance and 
character of a Marine on the USMC Fitness Report, NAVMC 10835A-E and 

NAVMC 11297 (Addendum Page) , see Appendixes B and C. The fitness report 
document, through written communication to the Commandant of the Marine Corps 
(CMC), provides a history of a Marine's performance and potential. 

NOTE: You may access the blank fitness report via the locally installed 
Windows Front End (WinFE) Application, Version 3.0, which can be downloaded 
from the Personnel Management Support Branch (MMSB) , Headquarters Marine Corps 
website at https://www.mmsb.usmc.mil . You may also access a FormFlow version 
of the form from the Marine Corps Electronic Forms System (MCEFS) , 
http : / /www . hqmc . usmc . mil /ar /recmqmt . nsf . The fitness report, addendum page, 
and the graphic on page five are listed separately on this website. 

The fitness report is: 

a. A vital portion of a Marine's Official Military Personnel File (OMPF) 
held at Headquarters Marine Corps (HQMC) by the Personnel Management Support 
Branch (MMSB) . 

b. Not a communication to, nor a counseling document for, the Marine. 

2. The PES comprises the policies, procedures, and responsibilities for the 
preparation, processing, and maintenance of fitness reports. Reports must 
provide accurate and complete profiles of the professional qualities of 
Marines. 

3. For purposes of brevity, this Manual uses the term reporting officials to 
simultaneously refer to the reporting senior (RS) , the reviewing officer (RO) , 
and the third officer sighter when appropriate. Abbreviations: 

a. RS's and RO' s mean possessive forms. 

b. RSs and ROs mean plural form. 

c. MRO refers to the Marine reported on. 

1002. PURPOSE . Primarily, the PES supports the centralized selection, 
promotion, and retention of the most qualified Marines of the Active and 
Reserve Components. Secondarily, the PES aids in the assignment of personnel' 
and supports other personnel management decisions as required. 

1-3 
Ch 9 



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Attachment B 



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1003 PERFORMANCE EVALUATION SYSTEM 

1003. OBJECTIVES OF THE SYSTEM . For a credible and accurate recording of the 
history of an individual's performance, the PES must accomplish the following 
objectives : 

1. Accurate Fitness Reports . The evaluation must: 

a. Reflect an assessment of performance of assigned duties and 
responsibilities against an understood set of requirements, individual 
capacity, and professional character. 

b. Center on individual performance during a designated period of 
observation. 

c. Report fact and the reporting official's objective judgments based on 
Marine Corps standards; not conjecture. 

d. Ensure narrative portions of the evaluation are clear in their 
meaning and free of ambiguities and innuendoes. 

2. Preventing Inflation . Countering inflation begins with the reporting 
officials, specifically the RS and RO, who must accurately report a Marine's 
performance. 

a. The design of this report limits the ability of RSs to unjustifiably 
or artificially inflate a Marine's performance. 

b. Reports must be based on a Marine's performance vice sociability. 
Reporting officials can inadvertently render these controls ineffective by 
preparing and submitting fitness reports that fail to adhere to both the 
letter and the spirit of this Manual. 

3. Timely Receipt . Timely receipt of fitness reports (within 30 days of the 
end of the reporting period) by HQMC ensures complete and accurate updates of 
Marines' OMPFs. As a leadership responsibility, reporting officials and 
commanders must ensure timely submission of fitness reports. 

4. Ensuring Complete Records . The submission of administratively and 
procedurally correct fitness reports will expedite processing, thereby 
ensuring a complete, continuous record of each Marine's performance and 
potential. 

5. Providing Information for Selection Boards . Fair and accurate personnel 
management decisions require complete fitness report records for all Marines. 
The culmination of accurate, fair, and timely fitness reports is a documented 
history of individual performance and potential required by HQMC selection 
boards . 



1004. SIGNIFICANCE OF THE FITNESS REPORT . The Commandant's guidance for the 
PES is: "The completed fitness report is the most important information 
component in manpower management. It is the primary means of evaluating a 
Marine's performance. The fitness report is the Commandant's primary tool 

1-4 
Ch 9 



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PERFORMANCE EVALUATION SYSTEM 1005 

available for the selection of personnel for promotion, retention, 
augmentation, resident schooling, command, and duty assignments. Therefore, 
the completion of this report is one of an officer's most critical 
responsibilities. Inherent in this duty is the commitment of each reporting 
senior and reviewing officer to ensure the integrity of the system by close 
attention to accurate marking and timely reporting. Every officer serves a 
, role in the scrupulous maintenance of this evaluation system, ultimately 
important to both the individual and the Marine Corps. Inflationary markings 
only serve to dilute the actual value of each report, rendering the fitness 
report ineffective. Reviewing officials will not concur with inflated 
reports . " 

1005. KEY CONCEPTS 

— ^ 1 . Fairness . The fitness report is a communication between reporting 

officials and the CMC, via the commander with oversight responsibilities (see ■ 
paragraphs 1007.4 and 2007). Reporting officials must provide fair and 
thorough evaluations. 

a. Reviewing officers and commanders must take active roles in mentoring 
and communicating with RSs when an RS has not adhered to the spirit and intent 
of this Manual. 

b. Influence or pressure by ROs or commanders ' to modify fitness report 
marks or comments is unacceptable, except to ensure that reporting officials 

■ adhere to Marine Corps policy. 

2. Focus. The fitness report is a documentation of observations and 
assessments of individual performance, personal qualities, character, and 
potential to serve at a more senior level.. The fitness report is not: 

a. A disciplinary tool. 

b. A lever to exert influence. 

c. A counseling document for the MRO. 

3- Measurement . Reporting seniors must evaluate against missions, duties, 
tasks, and standards as communicated by the RS to the MRO. Measure Marines 
against known Marine Corps values and soldierly virtues, not against a 
personal set of precepts and unreasonable expectations. 

^* Ethics . Professional ethics constitute one of the foundations of the PES. 
Reporting officials must preserve the high standards of Marine Corps integrity 
.and moral courage. Personal biases have absolutely no place in the process. 

5- Avoiding Zero Defects . Reporting officials must consider that Marines 
develop by having the latitude to make mistakes. Reporting officials must 
encourage initiative, aggressiveness, creativity, courage, and development of 
warfighting skills and not dampen them by fear of making mistakes. Attaining 
perfection certainly is a legitimate goal, but rarely is it a reality. The 
realistic goal is to experience, learn, and grow professionally. 

1-5 
Ch 9 



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Attachment C 



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Headquarters, U.S. MCOP1400.31B 

Marine Corps PCN 10201150100 




MARINE CORPS PROMOTION 
MANUAL, VOLUME 1 
OFFICER PROMOTIONS 
(SHORT TITLE: MARCORPROMMAN, 
VOL 1, OFFPROM) 



DISTRIBUTION STATEMENT A: Approved for pubUc release; distribuaon is unlimited 



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DEPARTMENT OF THE NAVY 

HEADQUARTERS UNITED STATES MARINE CORPS 

2 NAVY ANNEX 

WASHINGTON, DC 20380-1775 



MCO P1400.31B 

MMPR-1 

22 Feb 2000 

MARINE CORPS ORDER P1400.31B 

From: Commandant of the Marine Corps 
To: Distribution List 

Subj : MARINE CORPS PROMOTION MANUAL, VOLUME 1, OFFICER 

PROMOTIONS (SHORT TITLE: MARCORPROMMAN , VOL 1, OFFPROM) 

End: (1) LOCATOR SHEET 

1. Purpose . To promulgate the basic instructions relating to the 
administration of officer promotions in the United States Marine 
Corps . 

2. Cancellation . MCO P1400.31A. 

3 . Background 

a. Officers are selected for promotion for their potential to 
carry out the duties and responsibilities of the next higher grade 
based upon past performance as indicated in their official military 
personnel file. Promotions should not be considered a reward for past 
performance, but as incentive to excel in the next higher grade. 

b. This Manual is designed to provide detailed information on all 
aspects of the officer promotion system. The information contained 
herein is applicable to active-duty list and Reserve active-status 
list officers. In the event this Manual contradicts higher authority 
guidance, the latter supersedes this Manual. 

4. Summary of Revision. This is a complete revision of the previous 
Manual, and should be reviewed in its entirety. Symbols to denote 
deleted, revised, or added chapters/paragraphs are not reflected. 
This volume contains the most recent amendments to the Defense 
Officer Personnel Management Act (DOPMA) , the Reserve Officer 
Personnel Management Act (ROPMA) , the Warrant Officer Personnel 
Management Act (WOPMA) , and title 10, U.S. Code . 

5. Regommend^tiQns. 

Recommendations for changes to the Manual are invited and should be 
submitted via the appropriate chain of command to: 



DISTRIBUTION STATEMENT A: Approved for public release; 
distribution is unlimited 



jCI?**' 



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MCO P1400.31B 
22 Feb 2000 

COMMANDANT OF THE MARINE CORPS (MMPR-1) 
HEADQUARTERS, UNITED STATES MARINES CORPS 

HARRY LEE HALL 
17 LEJEUNE ROAD, QUANTICO, VA 22134-5104 

6. Reserve Applicability. This Manual is applicable to the Marine Corps 
Reserve . 

V. Certification. Reviewed and approved this date. 




T. P. MURRAY 
By direction 



DISTRIBUTION: PCN 10201150100 



Copy to: 7000110 (55) 

7000128 (30) 

7000027, 119 (5) 

7000060, 093, 116, 122, 130, 138/8145004 (2) 

7000006, 024, 025, 144/8145001 (1) 



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MARCORPROMMAN, VOL 1, OFFPROM 1011 



for promotions to captain through colonel. AR warrant of ficers compete 
within their same MOS for promotion to CW03 through CW05 . 

5. Specialist Officers. The paramount prerequisite of this program is 
that the individual possesses unusual talent that would not be available 
within the Regular Marine Corps in the event of national mobilization. 
Specialist Officers are appointed to meet mobilization needs and are not 
required to perform active duty obligation except in the event of a 
national emergency. 



1011. ZONES 



1- The promotion zone is defined as a promotion eligibility category 
consisting of officers from the most senior to the most junior officer 
eligible for consideration before a selection board in the same grade and 
competitive category. SecNavInst 1420. 1_ and section 623 of title 10, 
U.S. Code require that before the convening of selection boards to 
consider officers for promotion to any grade above first lieutenant, the 
Secretary of the Navy shall establish a promotion zone for officers 
serving in each grade and competitive category to be considered by the 
selection board. 

2. Company and Field Grade Officers . For the grades of CW02 through CW05 
and captain through colonel, three primary promotion zones exist: above-zone, 
in- zone, and below- zone. 

a. Above-Zone (Above the P romotion Zone) . Above- zone officers have 
been previously considered in the in- zone population, and not selected for 
promotion by a regularly scheduled board. These officers will incur an 
additional failure (s) of selection if not selected by the selection board. 

b. In -Zone (Promoti on Zone) . In-zone officers have neither failed of 
selection for promotion nor have been removed from a promotion list. In- 
zone officers consist of the primary eligible population for consideration 
by the selection board, and if not selected, the officer will incur a 
failure of selection. It is common to have officers whose lineal 
precedence falls within the above-zone population, but are in-zone 
officers. These officers will be given the same consideration as any 
other in-zone case. This zone is used to generate the authorized number of 
officers to select and the selection opportunity. 

c. Below- Zone (Below the P romotion Zone) . Below-zone officers are 
junior to the junior officer in the promotion zone. Below-zone officers 
are eligible for consideration, but if not selected, they will not incur a 
failure of selection. Not all 



1-7 



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Attachment D 



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MARCORPROMMAN, VOL 1, OFFPROM 

CHAPTER 4 
POST-BOARD ACTIONS 



4000. BOARD REPORT . Upon completion of deliberations, a selection board 
report will be prepared by Personnel Management Division (MMPR) in 
accordance with DoDInst 1320. 14_. The board report contains a list of all 
selectees and the following administrative documents as specified in the 
precept: statistical analysis; precept; a list of the officers eligible 
for consideration for promotion; notice of convening; promotion plan; 
sampling of records; and an update material log. The board report must be 
signed and certified by each board member and recorder. 



4001. UNAUTHORIZED RELEASE OF BOARD PROCEEDINGS . Sections 616(e) and 
14104 of title 10, U.S. Code . DoDInst 1320. 14_, and SecNavInst 1412 . 9_ 
prohibit the disclosure of the proceedings of selection boards to any 
person not a member of a board. In addition, SecNavInst 1420. 1_ further 
states that no member of a selection board may counsel officers who failed 
of selection by that board. Board presidents are charged to brief the 
members and recorders of the board, both upon convening and immediately 
prior to adjournment, that proceedings , deliberations , materials . and any 
other information pertaining to the board are not releasable except as 
authorized by the Secretary of the Navy, the Secretary of Defense, or the 
President. Officers who fail of selection before a board may be counseled 
by the Officer Career Counseling Section, Officer Assignment Branch (MMOA- 
4) or the Reserve Career Management Team, Reserve Affairs (RAM-6) , as 
appropriate . 



4002. FAILURE OF SELECTION 

1. Definition . An officer in a grade below colonel who is in or above 
the promotion zone established for the grade and competitive category 
under sections 574, 623, and 14302 of title 10, U.S. Code and is 
considered but not selected for promotion by a selection board convened 
under section 573, 611(a), and 14101(a) of title 10, U.S. Code shall be 
considered to have failed of selection for promotion. 

2. Effects. Such officers will continue to be considered by subsequent 
selection boards until they retire, separate, or are selected for 
promotion. First lieutenants who twice fail of selection to captain will 
not be considered by subsequent boards. Officers who have twice failed of 
selection for promotion may be subject to mandatory separation, 
retirement, or removal from the 



4-3 



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Attachment E 



Caoo 1:06 0¥ 01651 GK — Dooumont 12 1 F il od 07/25/2006 — Pago 10 of 28 




DEPARTMENT OF THE NAVY 

OFFICE OF THE SECRETARY 

1000 NAVY PENTAGON SECNAVINST 1401. IB 

WASHINGTON. D.C. 20350-1000 PerS— 26 

Pers-93 

25 April 1997 



SECNAV INSTRUCTION 1401. IB 

From: Secretary of the Navy 
To: All Ships and Stations 

Subj : SPECIAL PROMOTION SELECTION BOARDS FOR COMMISSIONED AND 
WARRANT OFFICERS IN THE NAVY AND MARINE CORPS 

Ref: (a) SECNAVINST 1421. 7B (NOTAL) 

(b) Title 10, United States Code 

(c) SECNAVINST 1420. lA 

(d) DoD Directive 1320.11 of 6 May 96, Special Selection 
Boards (NOTAL) 

(e) SECNAVINST 1401.3 

(f) SECNAVINST 1920. 6A 

1. Purpose . To set forth revised requirements to convene 
special selection boards to consider officers and warrant 
officers eligible for promotion in or above the promotion zone 
who were either not considered by a selection board, or who were 
considered, but due to defects in the board •s proceedings as to 
them, did not receive lawful or proper consideration. This 
instruction is a complete revision and should be reviewed in its 
entirety. Symbols to denote deleted, revised or added paragraphs 
are not reflected. 

2. Cancellation , SECNAVINST 1401. lA. 

3. Applicability 

a. The provisions of this instruction are applicable to 
officers on the active duty lists, the reserve active status 
lists, and the warrant officer active duty lists in the Navy and 
Marine Corps. Special promotion selection boards for officers on 
the active duty lists are authorized only in cases where the 
promotion selection board in question convened on or after 15 
September 1981, and for officers on the reserve active status 
lists only in cases where the promotion selection board in 
question is convened on or after 1 October 1995. 

b. Special selection boards for officers on the reserve 
warrant officer active status lists are covered in reference (a). 



ippppiipppppppi 



uayy i:ub-iiv-uibbi-bK — uocurn^n[4^-4 — meguz/^b/^uub — Haga 20 6t ^8 



SECNAVINST 1401. IB 
2 5 APR 1997 

4. Definitions , The following definitions apply throughout this 
instruction. 

a. Promotion Selection Board . A board convened under 10 
U.S.C. §611 or §14101 and the annual promotion plans to consider 
for promotion to the next higher grade officers in the Navy or 
Marine Corps (except Naval Reserve Warrant officers) . 

b. Special Selection Board . A selection board convened 
under 10 U.S.C. §628 or §14502 to consider for promotion officers 
who either were not considered by a promotion selection board as 
a result of error, or who were considered, but due to defects in 
the board's proceedings as to them did not receive lawful or 
proper consideration. 

5. Background 

a. References (b) and (c) prescribe rules and procedures for 
convening promotion selection boards to consider eligible 
officers on the active duty lists, the reserve active status 
lists and on the warrant officer active duty lists of the Navy 
and Marine Corps for promotion to the next higher grade. When, 
because of administrative error, the record of an officer in or 
above the promotion zone is not considered by a promotion 
selection board, the Secretary of the Navy (SECNAV) is required 
to convene a special selection board under §628 and §14502 of 
reference (b) , as implemented by reference (d) , to consider that 
officer for promotion. 

b. SECNAV is authorized by §628 and §14502 of reference (b) , 
and encouraged by paragraph D2 of reference (d) , to convene a 
special selection board to consider cases of officers who were in 
or above the promotion zone before a promotion selection board, 
but not selected, if SECNAV determines that the action of that 
board was contrary to law, or involved material error of fact or 
material administrative error, or that the board lacked some 
material information for consideration. 

c. Requests for special selection boards may be initiated by 
an individual officer. Requests will be considered and approved 
per paragraph 17. 

6. Ppljpy 

a. Special selection boards will be used only to consider 
the records of officers, and make recommendations to SECNAV with 
regard to selection for promotion, in cases where an error or 
omission precluded an officer's consideration, or proper 



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SECNAVINST 1401. IB 
2 5 APR 1997 

consideration, by a promotion selection board. Correction of an 
error in an officer's record, after the officer incurs a failure 
of selection by the promotion selection board that was affected 
by the error, will not necessarily be the basis for convening a 
special selection board. 

b. A special selection board will not be convened to 
consider any officer who, through the exercise of reasonable 
diligence, might have discovered and corrected the error or 
omission in the official record prior to convening the promotion 
selection board that considered, but did not select the officer. 

7. Officers Not Considered Due to Administrative Error 

a. SECNAV shall, upon determination that an administrative 
error prevented consideration of an officer's record before a 
promotion selection board, convene a special selection board to 
consider the record of the officer concerned. The Chief of Naval 
Operations (CNO) or the Commandant of the Marine Corps (CMC) , as 
appropriate, or their respective designee, shall provide 
narrative comments and recommendations, as appropriate, for 
consideration by SECNAV in making determinations under the 
provision of this paragraph. 

b. Failure to submit the record of an officer to the 
promotion selection board for that officer's grade and 
competitive category prior to the date that the board adjourned 
and forwarded its report to SECNAV shall constitute 
administrative error if: 

(1) The officer was on, or subject to placement on, the 
active duty list, the reserve active status list or the warrant 
officer active duty list, of the Navy or Marine Corps on or 
before the date the board convened, and 

(2) The officer should have been considered by the board 
as an in-zone or above-zone eligible officer. 

8. Officers Considered bv a Promotion Selection Board, but not 
Recomniendect for Promotion 

a. A special selection board may be convened when SECNAV 
determines that an officer on the active duty list, the reserve 
active status list, or the warrant officer active duty list, was 
not recommended for promotion by a promotion selection board as 
an in-zone or above-zone eligible because: 



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SECNAVINST 1401. IB 
2 5 APR 1937 

(1) The promotion selection board, which considered the 
officer for promotion, acted contrary to law; 

(2) The action of the promotion selection board involved 
material error of fact or material administrative error; or 

(3) The promotion selection board did not have material 
information before it for its consideration. 

b. A determination that a promotion selection board acted 
contrary to law, that material error of fact or material 
administrative error occurred, or that material information was 
not considered by a promotion selection board, shall be made by 
SECNAV. SECNAV will consider the comments and recommendations of 
the CNO or CMC, as appropriate, or their respective designee. 
All requests for SECNAV determination shall be reviewed by the 
Judge Advocate General (JAG) . JAG shall provide advice to SECNAV 
concerning any question of law, or mixed question of law and 
fact, that JAG determines has been raised by a request or by the 
comments and recommendations made on the request. 

c. The following principles apply regarding SECNAV 
determinations under subparagraph 8a: 

(1) Any act of a promotion selection board that violates 
§575, §616, or §14108 of reference (b) is contrary to law. 

(2) Any act of a promotion selection board that deprives 
the officer concerned of a constitutional or statutory right is 
contrary to law. 

(3) Any error of fact or administrative/procedural error 
that is more likely than not to have deprived the officer 
concerned of a fair and impartial consideration by the board is a 
material error. 

(4) Any information that, when properly recorded in, or 
removed from, an officer's record would have been essential to a 
substantially accurate, complete, and fair portrayal of the 
officer's career is material information. 

d. Officers have a duty to review their records periodically 
to ensure their records are complete and accurate. Records that 
provide a sxibstantially accurate, complete, and fair portrayal of 
the officer's career are especially important when that officer 
is being considered for selection for promotion. An officer's 
request for consideration by a special selection board must 



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SECNAVINST 1401. IB 
2 5 APR 1997 

detail the steps the officer took to ensure the completeness and 
accuracy of the official record prior to the convening of the 
board which considered, but failed to select, the officer. 

e. If an officer has failed of selection for promotion to 
the next higher grade before a promotion selection board more 
than once, and if more than one of these failures involved the 
same error as determined under subparagraph 8a, the officer's 
case normally shall be considered by only one special selection 
board. This special selection board will be approved for the 
first promotion selection board that was affected by the same 
error, unless the officer specifies the particular board for 
which relief is sought, or other circumstances exist indicating 
that relief for a subsequent board is more appropriate. 

9. Sampling of Records . The CNO and the CMC shall take 
appropriate action within their respective services to ensure the 
preparation by promotion selection boards of a sampling of 
records of officers of each competitive category who were 
recQitanended for promotion, and records of officers of each 
competitive category who were not recommended for promotion by 
the promotion selection board. They or their respective 
designees will also prescribe the method by which the sampling of 
records will be selected for their respective services. The 
sampling of records shall enable a special selection board to 
evaluate an officer's record according to the procedures at 
paragraph 12b. Sample records shall be retained for a period of 
at least seven calendar years. Written communications to the 
board by officers whose records are retained will also be 
retained with the records. Each board president shall deliver 
the sampling of records to Chief of Naval Personnel (CNF) , or 
Director, Personnel Management Division (MM) , Headquarters, 
Marine Corps, as appropriate. CNP and Director, Personnel 
Management Division, respectively, are designated as the 
custodians of all sample records retained under this instruction. 

10. Presentett^on of I^^coyds to Special Selection Boards. The 
record of an officer presented to a special selection board will 
be modified as necessary to reflect the record of the officer as 
it would have appeared to the board that should have considered 
the officer or, if corrected, would have appeared to the board 
that considered the officer. Special selection boards will 
compare the modified record to the sample records, retained under 
§628 and §14502 of reference (b) , from the corresponding 
promotion selection board. 



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SECNAYINST 1401^ IB 
25 APR 1997 

11. Special Selection Bo^ r<3 M^Tft fe^^rship . Special selection board 
membership shall be in accordance with §573, §612, or §14102 of 
reference (b) and reference (e) . 

12. Special Selection Board Procedures and Reports 

a. Special selection boards shall be convened by precept, 
addressed to the president of the board, and signed by SECNAV. 
The precept will appoint the president and members of the board 
and will include instructions governing the proceedings of the 
board. Guidance issued to a special selection board will be 
consistent with that provided to the promotion selection board 
that failed to consider, or failed to properly consider, the 
officer whose record is before the board for consideration. All 
guidance shall be approved by SECNAV. 

b. The sample of records provides a relative base from which 
special selection boards determine which eligible officers, in 
the opinion of a majority of the members of the board, are fully 
qualified for promotion and when compared to the officers whose 
sample records were considered: 

(1) Are better qualified for promotion than any of the 
officers who failed of selection for promotion before the 
promotion selection board; and 

(2) Are comparable to those officers who were selected 
for promotion before the promotion selection board. 

c. Special selection boards shall sxibmit a written board 
report to SECNAV signed by each member and the recorder of the 
board, certifying that the board has carefully considered the 
record of each officer whose name was fuimished to it. The 
report will contain a list of those officers considered and 
recommended for promotion and those officers considered and not 
recommended for promotion. The report shall be forwarded for 
approval by an appropriate official via first, CNP (Navy boards) ; 
second, CNO or CMC, as appropriate; third, JAG for legal review; 
and fourth, SECNAV. Additionally, the board shall notify SECNAV, 
by separate memorandum, of the name of each officer whose record, 
in the opinion of a majority of the members of the board, should 
be recpiired to show cause for retention on active duty or in an 
active status under §1181 and §14902 of reference (b) and 
reference (f) because of substandard performance of duty, 
misconduct, moral or professional dereliction, or because the 
officer •s retention is not clearly consistent with the interests 
of national security. 



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SECNAVINST 1401,13 
2 5 APR 1997 

d. Except as authorized or required by SECNAV, Secretary of 
Defense (SECDEF) , or the President, the proceedings and report of 
a special selection board, including specific information 
regarding the sample records used and how each officer's record 
was rated, shall not be disclosed to any person not a member or 
recorder of the board. 

13. Effect of Nonselection 

a. If a special selection board convened under paragraph 7 
does not recommend for promotion an officer whose name was 
furnished to it for consideration as in-zone or above-zone, the 
officer shall be considered to have failed of selection for 
promotion. 

b. If a special selection board convened under paragraph 8 
does not recommend for promotion an officer whose name was 
furnished to it for consideration, the officer shall not incur 
any additional failure of selection. 

14. Promotion of Officer Selected bv Special Selection Boards . 
If the report of a special selection board convened under this 
instruction, as approved by the President, Secretary of Defense, 
or SECNAV, as appropriate, recommends for promotion to the next 
higher grade an officer whose name was furnished to it for 
consideration, such officer shall, as soon as practicable, be 
appointed to the next higher grade, unless the officer's 
appointment is delayed under reference (b) . An officer promoted 
as a result of the recommendation of a special selection board 
shall, upon promotion, have the same date of rank, the same 
effective date for the pay and allowances of that officer's 
grade, and the same position on the active duty list, the reserve 
active status list, or the warrant officer active duty list, as 
that officer would have had if that officer had been recommended 
for promotion by the promotion selection board for which the 
special selection board was held that should have considered, or 
that considered but failed to select, that officer. 

15. Scheduling of Special Selection Boards and Noti fication of 
Officers to be Considered 

a. As per paragraph D4 of reference (d) , a special selection 
board, barring extenuating circtimstances, such as a heavy 
caseload, shall be convened and the results made known to 
affected officers within 180 days after SECNAV determines that a 
special selection board is warranted. The results of special 
selection boards shall be made known to affected officers in a 
timely manner. 



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25 APR 1997 

b. Officers to be considered for promotion by a special 
selection board shall be notified at least 30 days before the 
board convenes that they will be considered. Such officers shall 
be provided an opportunity to send written communications to the 
board in the same manner as that provided for promotion selection 
boards . 

c. If., within 30 days of convening a special selection 
board, an additional eligible officer is identified, 
consideration of that officer may be deferred to a subsequent 
special selection board. Alternatively, the officer may waive 
the 30-day notice requirement, so long as the eligible officer 
has an adequate opportunity to communicate with the board. The 
officer must either exercise the right to communicate in writing 
with the president of the board or send a written statement 
(which may be by message) to CNF (Pers-26 or 93), or to 
Headquarters, Marine Corps (Code MMPR-1) , as appropriate, 
acknowledging the waiver. 

d. Communications with special selection boards shall 
contain only materials referring to events prior to the convening 
date of the promotion selection board which failed to consider, 
or to properly consider, the officer. All third party 
correspondence concerning the officer must be forvarded to the 
president of the board by that officer, communications must be 
received not later than the convening date of the special 
selection board. 

16. Retention of Statistical Data. CNO or CMC, as appropriate, 
shall calculate and retain the following statistics for each 
special selection board for seven years: 

a. Statistical data regarding the nximber of officers 
considered for promotion to each grade; 

b. The number of officers selected for promotion to each 
grade and the number of officers considered, but not selected, 
for promotion to each grade; 

c. The number of officers considered by the special 
selection board who were not considered by the appropriate 
promotion selection board due to administrative error; and 

d. The number of officers considered by the special 
selection board on the basis of legal or other material error 
regarding previous consideration by the appropriate promotion 
selection board. 



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SECNAVINST 1401. IB 
2 5 APR 1997 
17. Action 

a. The CNO or CMC, as appropriate, or their respective 
designees, shall, unless approved under paragraph 18d, 
request a Secretarial determination under paragraphs 7 or 8 
in any case in which it is alleged or discovered that the 
circumstances discussed in those paragraphs might warrant 
referral of the officer's case to a special selection board. 
In the case of an officer who was previously considered by a 
promotion selection board, but not selected, CNO or CMC 
shall forward comments and recommendations for consideration 
by SECNAV via JAG. JAG shall thoroughly review each case 
and provide advice to SECNAV concerning any question of law, 
or mixed question of law and fact, which JAG determines has 
been raised by the request or by the comments and 
recommendations provided. 

b. The Board for Correction of Naval Records (BCNR) 
may, in appropriate cases, conclude that an individual's 
case warrants referral to a special selection board. In 
order to ensure consistency and unifoinnity in the referral 
of cases to special selection boards, the BCNR shall refer 
all such cases to CNO or CMC, as appropriate. CNO or CMC 
shall forward comments and recommendations concerning the 
particular case to the Director, BCNR. If the BCNR 
concludes from the comments and recommendations that the 
case warrants a special selection board, the BCNR shall 
refer the case, including CNO or CMC comments and 
recommendations, to SECNAV. 

c. An officer who believes that he or she has been 
improperly excluded from consideration before a promotion 
selection board, or who believes that lawful or material 
error, as described in this instruction, occurred before a 
promotion selection board in his or her case, will bring 
supporting information to the attention of the CNO or CMC, 
as appropriate. 

CNO or CMC, as appropriate, may approve special 
selection board requests in cases where they can 
clearly determine an officer was denied 
consideration by a regular promotion selection 
board because of an administrative error. Should 
reasonable doubt exist, or a recommendation of 
disapproval be warranted, the cause will be 
forwarded to SECNAV for a final deteirmination. 



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SECNAVINST 1401. IB 

2 5 APR 1337 
18. Report . The report required in paragraph 12(c) is 
exempt from reports control by SECNAVINST n5 2 14 .28. 



^iv^^^ 



Richard Danzig 
Acting 

Distribution: 

SNDL Parts 1 and 2 

MARCORPS PCN 71000000000 and 71000000100 

BUPERS (Pers-26 and Pers-93, 50 copies each) 

SECNAV/OPNAV Directives Control Office 

Washington Navy Yard Building 

901 M Street SE 

Washington DC 20374-5074 (20 copies) 

Order from: 

Navy Inventory Control Point 

Cog "I" Material 

700 Robbins Avenue 

Philadelphia PA 19111-5098 

Stoclced: 300 copies 




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